Putting Investors First How to Enhance your Financial Education Program North American Securities Administrators Association.

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Presentation transcript:

Putting Investors First How to Enhance your Financial Education Program North American Securities Administrators Association

We Are NASAA North American Securities Administrators Association Inc. oOldest international investor protection organization (1919) o67 state, provincial, & territorial securities administrators across North America oNASAA assists states in the creation, distribution & marketing of investor education materials

Putting Investors First Each state has a securities regulator to protect its citizens The principal focus of state securities regulators is to prevent fraud at the retail point of sale

The Role of Your State Securities Regulator Licensing stockbrokers, investment adviser firms (managing less than $25 million in assets) & securities firms conducting business in the state. Registering certain securities offered to the states’ investors. Investigating investor complaints and potential cases of investment fraud Enforcing state securities laws by fining, penalizing, providing restitution to investors, prosecuting white-collar criminals, and imposing legally binding conduct remedies designed to correct specific problems. Examining brokerage and investment adviser firms to ensure compliance with securities laws and maintenance of accurate records of client accounts. Reviewing certain offerings that are not exempt from state law. Advocating passage of strong, sensible, and consistent state securities laws and regulations. Educating investors about their rights & providing the tools & knowledge they need to make informed financial decisions.

On the Front Lines of Investor Protection The local ‘Cop on the Beat’ As an investor’s first line of defense providing residents with information about firms or individuals selling securities within the state. State securities regulators have a long record of success in protecting investors at the local level.

How State Securities Regulators Serve & Protect Investors INFORMEDUCATEPROTECT

Investor Education: Investor Education: The Tool to Protect Investors From Fraud An informed investor is the best defense against fraud. State regulators offer free publications, programs & presentations to help investors understand how to evaluate investments and avoid becoming a victim of fraud.

Investor Education: Investor Education: The Tool to Protect Investors From Fraud Grassroots programs to reach military personnel

Programs Investor University on Base (Florida) TAPS: Troops Against Predatory Scams (California) Operation ASAP: Armed Services Asset Protection (Pennsylvania)

Presentations

Events

Media Tennessee Florida

Partnerships Alabama Securities Commission & Auburn University (Cooperative Extension System) will partner on investor education events at military installations throughout Alabama.

NASAA Resources

How to Get Started… Contact your state securities regulator to discuss partnership possibilities and determine how they may enhance your financial education programs. Visit the NASAA website:

NASAA Military Contacts Daniel G. Lord (Primary) NASAA Affinity & Military Outreach, Chair & Education and Public Affairs Manager, Alabama Securities Commission Phone: As Chair of the NASAA Affinity and Military Outreach Project Group Dan works with five highly qualified members to study and promote military personal finance and investor education outreach programs. He also manages an Education and Public Affairs programs for the Alabama Securities Commission. Dan is retired from the U.S. Air Force as a Lieutenant Colonel with 23 years of service. Melinda Semadeni (Secondary) NASAA Investor Education Manager Phone: Melinda serves as the NASAA Investor Education liaison in Washington D.C ensuring the efficient operation of a multinational investor education outreach program that covers North America. Melinda manages the following Investor Education groups: Military, Pre-retiree, Senior and Youth Outreach and Research and Coordination. Melinda previously worked in the Financial Services arena and received her Bachelor of Arts in Journalism from Brigham Young University.